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INSTRUCTIONS FOR CJA 31
DEATH PENALTY PROCEEDINGS: EX PARTE
REQUEST FOR
AUTHORIZATION AND VOUCHER FOR EXPERT AND OTHER SERVICES
The CJA Form 31 should be used to obtain investigative, expert and other
services in all death eligible cases through disposition of the case, regardless
whether the death penalty is authorized, not-authorized, or de-authorized.
Read these instructions carefully before completing the form. Accuracy and
thoroughness will aid in the prompt payment of the claim. This form is an interactive pdf file. You may fill out the document online before printing (if you experience any problems, please download the latest version of Adobe Acrobat at www.adobe.com); otherwise, write legibly with a ball point
pen (preferably black or dark blue ink). If the form is generated by the automated
system, Items 1 through 10 and 13 will be preprinted on the form. Attach an itemized
statement of the services provided and expenses incurred. Give the date and the
number of hours claimed for the service requested. Provide the dates for and
a description of expenses incurred. For additional guidance,
refer to the Guidelines for the Administration of the Criminal Justice
Act and Related Statutes (CJA Guidelines), Volume VII, Guide
to Judiciary Policies and Procedures, which is available for reference in
the Clerk's office.
All payments made pursuant to this claim are subject to post-audit; overpayments
are subject to collection, including deduction of amounts due from
future vouchers.
Refer to 21 u.s.c. 848(q)(9) and the cja guidelines concerning the
conditions for making ex parte requests.
Note: Prior authorization from the presiding judicial officer must
be secured for all investigative, expert or other services where the cost (excluding
reimbursement for reasonable expenses) will exceed $300. Failure to obtain
prior authorization will result in the disallowance of any amount claimed for
compensation in excess of $300, unless the presiding judicial officer finds
that, in the interest of justice, timely procurement of necessary services
could not await prior authorization.
If prior authorization is obtained for an investigative, expert or other service
and later it is determine that the cost of the service will exceed the initial
estimate by a significant amount, you should seek, from the presiding judicial
officer, further prior authorization for the additional amount.
For cases commenced, and appellate proceedings for which an appeal is perfected,
on or after April 24, 1996, the presiding judicial officer's approval of
payment in Item 28 may require additional approval by the chief judge of the
court of appeals (or active circuit judge to whom the chief judge has delegated
excess compensation approval authority) consistent with the $7,500 statutory
amount set forth in 21 U.S.C. § 848(q)(10)(B). Pursuant to that provision, if
the aggregate amount of compensation and expenses for all investigative, expert,
and other services exceeds $7,500 in any case, payment in excess of that amount
must be certified by the presiding judicial officer as necessary to provide fair
compensation for services of an unusual character or duration, and the amount
of the excess payment must be approved by the chief judge of the court of appeals
(or delegate).
| Item 1. |
CIR./DIST./DIV. CODE: This four-character
location code is the circuit or district, and divisional office
codes for the court where the proceedings for the person represented
are held. |
| Item 2. |
PERSON REPRESENTED: Give the full name
of the person whom you were appointed to represent. |
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| Items 3-6. |
DOCKET NUMBERS: Provide the case number
assigned by the court. Enter the number using the last two digits
of the calendar year (YY), the sequential number assigned by
the court (NNNNNN), and the defendant number (DDD), as shown
in the indictment or charging document. Thus, the format of
the docket numbers is YY-NNNNNN-DDD. If two or more cases are
heard or tried together for the person represented, complete
a separate voucher for each case in which services are provided
(i.e., for each docket number listed). Prorate the total time
among the cases. On the supporting documentation, cross reference
all related claims for which costs are prorated. |
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| Item 7. |
IN CASE/MATTER OF (CASE NAME): In criminal
cases, enter U.S. vs. Defendant's Name. If it is a multiple
defendant case, give the case cite on the indictment (e.g.,
U.S. vs. Lead Defendant's Name, et al). If this
is a habeas corpus proceeding, enter the Name of the Petitioner
vs. the Name of the Respondent and include the respondent's
title. |
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| Item 8. |
TYPE PERSON REPRESENTED: Check the box
that defines the legal status of the person represented. |
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| Item 9. |
REPRESENTATION TYPE:
Use the CJA Form 31 only if this is a death penalty representation.
Check one of the following types of representation:
D1 Habeas corpus (capital)
petition pursuant to 28 U.S.C. § 2254, seeking to vacate or set
aside a state death sentence and appeals;
D2 Federal capital prosecution, either trial or
direct appeal;
D3 Habeas corpus (capital) petition pursuant to
28 U.S.C. § 2255, seeking to vacate or set aside a federal death
sentence and appeals; or
D4 Death penalty prosecution in federal court under a state statute
or any authority other than the United States Code and appeals.
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| Item 10. |
OFFENSE(S) CHARGED: If the case is a capital
prosecution in federal court, cite the U.S. Code (title and
section) or other code citation of all charges, up to five.
List all death-eligible offenses first. If this is a direct
appeal of a federal prosecution, list all offenses for which
the defendant was convicted. |
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| Item 11. |
ATTORNEY'S STATEMENT, NAME AND MAILING ADDRESS:
Check the appropriate box to indicate whether the request is
for authorization to obtain services, or approval of services
already provided. Include, for the services described in Item
12, the total estimated dollar amount for compensation and expenses.
Estimate the cost of the services (including expenses) requested,
and show the amount where required on the form. Note the basis
for compensation (e.g., number of hours of work at hourly rate,
number of days at daily rate, or a fixed dollar fee). This statement
must be signed and dated by counsel for the person represented
(or by the person proceeding pro se). Check the appropriate
box to designate the attorney status as an attorney from a legal
organization (bar association, legal aid agency, or community
defender organization not receiving a periodic sustaining grant
under the Criminal Justice Act (CJA), a CJA panel attorney,
a retained attorney whose client is unable to afford the cost
of the service requested, or a person who qualifies for representation
under the CJA but has chosen to proceed pro se.
Give the complete legal name, mailing address, and telephone number
of the attorney appointed to represent the person whose name is
shown in Item 2. Provide the mailing address and telephone number
of the attorney.
For cases commenced, and appellate proceedings for which an appeal
is perfected, on or after April 24, 1996, all totals for compensation
and expenses authorized for investigative, expert, and other services
will be included as a part of the statutory threshold. (Payments
to counsel for representation is not a part of the statutory threshold.)
The court may use this information to help determine whether advance
approval should be obtained from the chief judge of the court of
appeals (or delegate) in anticipation that the $7,500 amount for
compensation and expenses for investigative, expert, and other
services will be exceeded. If the estimated amount has been authorized
already, in whole or in part, through a case budgeting process
by the court (and by the chief judge of the court of appeals (or
delegate) if applicable), attach the appropriate documentation
to the first payment voucher submitted.
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| Item 12. |
Procedures for Requesting Psychiatric and
Psychological Services.
If this is a request for an examination by a psychiatrist or psychologist,
state whether the purpose of the examination is to determine (1) the
current mental state of the person represented, or (2) the mental state
at the time of the person's alleged offense. Counsel may request authorization
to obtain necessary psychiatric and related services when the purpose
of an examination is to assist the defense and counsel wishes to control
disclosure of the examination report (i.e., keep it confidential from
the court and the prosecution) as well as to select the expert conducting
the examination. If the examination is ordered pursuant to a statute,
cite the statute (U.S. Code, title and section). See paragraph 3.11
of the CJA Guidelines and accompanying chart, "Responsibility
for Payment of Psychiatric and Related Expert Services."
In habeas corpus proceedings, payment of fees and expenses of psychiatric
examinations for purposes other than representation of the petitioner
is not paid from Defender Services funds, but is determined by the
rules governing section 2254 cases in the united states district courts
and rules governing 2255 cases in the united states courts. In order
to avoid confusion and possible delays in payment, the order authorizing
the services to be obtained should specify the statutory authority
and the agency responsible for payment.
DESCRIPTION OF AND JUSTIFICATION FOR SERVICES: Briefly, describe
the nature of the services requested and the reason services are necessary
to provide adequate representation.
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| Item 13. |
TYPE OF SERVICE PROVIDER: Check the box
that identifies the type of service provider requested. If you
check the box "Other," be sure to specify the type of service
or service provider. If computer assisted legal research (CALR)
is checked, refer to paragraph 3.15 of the CJA Guidelines
for an explanation of the criteria and procedures for approval
of CALR as a necessary service under CJA. |
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| Item 14. |
COURT ORDER: This court order must be signed
and dated by the presiding judicial officer. An additional court
order is not necessary except for certain psychiatric and psychological
examinations as explained in the instructions for Item 12, or
to authorize payment for services exceeding $300 when prior
authorization was not obtained (see Item 23). Indicate whether
full or partial repayment was ordered by the court from the
person represented by checking "Yes" or "No." |
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| Item 15. |
STAGE OF PROCEEDING: Check the box that
corresponds to the stage of proceeding for services claimed
in Item 16 even if it is anticipated that the work will be used
in connection with a later stage of the proceeding. CHECK ONLY
ONE BOX. Submit a separate voucher for each stage of proceeding.
The stage noted as "Other" under "Other Proceeding" should be
used only for a petition for presidential pardon or clemency,
or other proceeding that does not relate to the other described
categories. |
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| Item 16. |
CLAIM FOR SERVICES AND EXPENSES:
COMPENSATION (Item 16a): Enter the total amount claimed for
professional services rendered. On an attachment to the voucher, describe
in detail the services provided, including dates of service and the
amount of time spent (in hours and tenths of hours). State the basis
for the fee claimed (e.g., hourly rate, daily rate, fixed fee).
TRAVEL EXPENSES (Item 16b): Travel related expenses that are
incidental to providing services (e.g., transportation, lodging, meals,
car rental, parking, etc.) must be itemized on a separate sheet, indicating
dates the expense was incurred. Attach supporting documentation (receipts,
canceled checks, etc.) for travel expenses. Travel expenses by privately
owned automobile, motorcycle or aircraft,should be claimed at the rate
in effect for federal employees at the time of travel. Tor overnight
travel, reasonable expenses for lodging and meals will be reimbursed
on an actual expense basis; per diem is not allowed. Service providers
are limited to the travel and subsistence expenses of federal employees.
The clerk of court can advise you of applicable rates and federal government
travel regulations.
OTHER EXPENSES (Item 16c): Itemize all reimbursable out-of-pocket
expenses incurred incidental to services provided. Enter the total
claimed where required on the form. Submit supporting documentation
(receipts, canceled checks, paid invoices, etc.) for all single item
expenses in excess of $50. Do not include general office overhead (e.g.,
rent, telephone services, secretarial services) as reimbursable expenses.
Fees and expenses for consultants in death penalty cases should be
claimed on this form.
The columns under "FOR COURT USE ONLY" will reflect any mathematical
and technical adjustments to the claim during the judicial approval
process or changes during a required additional review of the chief
judge of the court of appeals (or delegate).
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| Item 17. |
PAYEE'S NAME AND MAILING ADDRESS, CLAIMANT'S
CERTIFICATION OF SERVICE PERIOD AND CLAIM STATUS: Provide
the complete name and address of the payee (claimant). The claimant
must certify the dates covered by indicating the date range
for services rendered. Check the box to indicate whether this
is (1) a final payment for services, (2) an interim payment,
or (3) a supplemental payment (an additional claim submitted
after a final payment). If this is an interim payment, indicate
the interim payment number. The claimant or payee must sign
and date the payment certification statement prior to submitting
the claim to the attorney for certification that the services
were rendered and received. Provide the Taxpayer Identification
Number (TIN) to report these earnings to the Internal Revenue
Service (IRS). |
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| Item 18. |
CERTIFICATION OF ATTORNEY: This section
must be completed by the attorney appointed to provide representation,
a retained attorney whose client is unable to afford cost of
the services requested, or by a person proceeding pro se
under the CJA. |
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| Items 19-22. |
APPROVED FOR PAYMENT -- COURT'S USE ONLY: The
presiding judicial officer must review for reasonableness and
compliance with the CJA Guidelines every claim for compensation
and any reimbursement for expenses incurred. After review, the
judicial officer will indicate the amount approved for payment
in each of the payment categories. These amounts will reflect
any mathematical and technical adjustments made to the claim.
The "TOTAL AMOUNT APPROVED/CERTIFIED" (Item 22) is the
amount approved for payment of the claim, less any amounts withheld
in accordance with an interim payment order. If the amount exceeds
the statutory threshold, including expenses, the presiding judicial
officer certifies the excess compensation for payment approval
of the chief judge of the court of appeals (or delegate), by circling
the word "certified" and indicating the amount approved in Item
22).
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| Item 23. |
SIGNATURE OF THE PRESIDING JUDICIAL OFFICER:
The presiding judicial officer must check the appropriate box
to indicate (1) either the cost, excluding expenses, does not
exceed $300, or prior authorization was obtained; or (2) in
the interest of justice, the court finds that timely procurement
of the services could not await prior authorization, even though
the cost, excluding expenses, exceeds $300. The presiding judicial
officer will sign and date Item 23, indicating approval/certification
of the amount in Item 22. The court will provide the JUDGE
CODE. |
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| Items 24-27. |
PAYMENT APPROVED IN EXCESS OF THE STATUTORY
THRESHOLD: The chief judge of the court of appeals (or delegate)
will indicate the amount approved for payment in each of the
payment categories (Items 24 -26). This amount will reflect
any adjustments of your claim resulting from the additional
review of claims by the chief judge (or delegate) for amounts
that exceed the statutory threshold for the payment category
of the case. The chief judge (or delegate) will sign and date
Item 28 for the total amount approved and entered in Item 27.
The JUDGE CODE of the chief judge (or delegate) approving
the excess compensation will be provided by the court staff. |
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| Item 28. |
FOR CASES COMMENCED, AND APPELLATE PROCEEDINGS
FOR WHICH AN APPEAL IS PERFECTED, ON OR AFTER APRIL 24, 1996.
The presiding judicial officer should sign and date Item
28, indicating, in paragraph A of Item 28, the total amount
paid for compensation and expenses for investigative, expert
and other service providers on behalf of the person represented
in this case, and that payment in excess of the statutory threshold
is approved.
Complete Item 28 only for cases commenced, and appellate proceedings
for which an appeal is perfected, on or after April 24, 1996. If
the amount approved for compensation and expenses for investigative,
expert, and other services on behalf of the person represented
in a case is less than or equal to $7,500, the claim will be forwarded
to the clerk of court for processing for payment. Upon preliminary
approval of a claim in excess of $7,500 (including other claims
for investigative, expert, and other services on behalf of the
person represented), the presiding judicial officer will (1) signify
approval of the excess amount under 21 U.S.C. § 848(q)(10)(B) by
circling "Certification" in Item 22. If the chief judge (or delegate)
approves the excess amount, the judge will enter the amount approved
for payment in Item 27, sign and date Item 28. If approval is not
granted, the claim will be returned to the presiding judicial officer
for appropriate action.
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